Image CAPTCHA
Enter the characters shown in the image.

Defamation

You are here

Home

U-5 Defamation

U-5 defamation is a strategically tricky area. A broker who wants her record cleaned may challenge a derrogatory report, but damages are unlikely unless the broker has a large book of business. 

The National Association of Securities Dealers (NASD) has "members" which are entities that sell securities and may be banks or brokerages.  These members employ "licensees" who NASD licenses as stockbrokers and other types of securities salespeople.  When a member terminates the employment of a licensee, the member must complete a form U-5.  The form U-5 is subject to review by all future employers and claims contained in it may render the licensee unemployable.

Related Subjects: 
Employment Law
Retaliation
Defamation
U-5 Defamation

Pages

 
 

Call us at 408.797.0000

Call us at 408.797.0000

Call us for a consultation at 408.797.0000. We offer expert services and proven experience with complex issues that others can overlook.

Save this page

 
PDF

Who's Online

 
There are currently 0 users and 20 guests online.

visit us at:

  1999 S. Bascom Avenue, Suite 797
    San José, CA 95008
 (408) 797-0000

  200 Washington St., Suite 208
    Santa Cruz, CA 95060
 (831) 245-0000

The Olender Pro Bono Project

We represent some clients who have compelling cases and little money at no charge. Sean received the Benito Juarez human rights award in 2008 and the ALRP Volunteer Award in 2012 for taking more than 10 pro bono cases in 12 months. We need volunteers. E-mail Debbie to volunteer.

Change Your Address at DHS!

If you are not a US citizen, you must change your address with DHS within 10 days of moving or face deportation. Click Here.